Complex Supervisory Manager - Garden , NY

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

works closely with the Complex Director to ensure that all operations functions are promptly and accurately performed within the Complex. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office departments including Operations, Human Resources, Compliance, Training and Private Client Group (PCG) Administration. This individual leads complex employees to coordinate activities relating to managing the business, developing the team, and evolving for a changing environment.

• All branch operations functions in the Complex including but not limited to: cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements.
  • Process deposits and disbursements; review for appropriateness and accuracy.
  • Responsible for working with home office for check deposits and check issuance.
  • Receive, prioritize and process orders.
  • Review and analyze reports including:
    Margin report, cash deposit report, error report, order errors, syndicate allocations.
• Coordinate Approval Processes including:
  New Accounts, ACH, Wire Transfers, Journals, Annuities, Alternative Investments, POAs, brokerage documentation, legal transfers, stock options, etc.
• Forward securities and supporting documentation to home office.
• Process incoming and outgoing correspondence.
• Distribute branch mail, faxes, and morning reports.
• Coordinate with Complex Director and Home Office Compliance Department on Client Escalations.
• Coordinate and assist with Complex Directors Expense Reports.
• Coordinate Marketing approvals and expenses for events and sponsor ships (AdTracks and EQ) (Tracking from wholesaler funds on golf; entertainment, etc.)
• Manage all resources required for complex (technology, suppliers, etc.)
• Assist in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e. holiday party).
• Liaise with home office associates to handle challenges or implement improvements.
• Help educate, reaffirm, and communicate firm initiatives including: goals, positioning and messaging to the complex.
• Ownership of master prioritized Complex Project List.
• Proactive ideas and activities in seeking ways to systematize the complex to increase efficiency and effectiveness. Ownership and driver of all Complex Standard-Operating-Procedures.
• Help coordinate/facilitate Complex Directors Calendar including scheduling.
• Serve as liaison between branches and home office.
• Perform other duties as required that contribute to the overall effectiveness of the position and the complex as a whole.
• Provide assistance to Field Support Roles
  • Provide work direction to Private Client Associates and/or other members of the support team and coordinate workflow within the branch offices.
  • Facilitate Private Client Associate Monthly Meeting also serving as ‘expert’/ communicator for operational and firm support initiatives.
  • May sometimes perform duties of a Private Client Assistant and work with FAs within the Complex and assist peers when necessary.
• Assist others by acting as a resource in the areas of training, coaching, and mentoring.
  • Actively seek out and maintain an advanced knowledge base on all products, solutions, and services; technology, forms and systems.
  • Aid in facilitation of the on-boarding of new FAs and PCAs.
  • Assist Complex Director in facilitating performance reviews & professional development plans for PCAs (preparation and follow up).
  • Coordinate all home office visits from product/solution departments.
• Assist in coordination of recruiting activities (advisors, support, teams) with…